Enforcement Actions Administrative

Mar 1
2005

ENF-05-CDO/FIN-1583

In The Matter of Revelle Resources, Inc., Karen S. Revelle, and Jack Combs

Feb 28
2005

IC05-CAF-05

In The Matter of The Dealer Registration of C.E. Unterberg, Towbin, LLC.

Feb 14
2005

ENF-05-CDO/FIN-1582

In The Matter of Cornerstone Ministries Investments, Inc., Wellbrook Properties, Inc., Cecil A. Brooks, and John T. Ottinger

Feb 14
2005

IC05-REV-04

In The Matter of The Dealer Registration of LH Ross & Company, Inc.

Feb 14
2005

IC05-CAF-03

In The Matter of The Dealer Registration of Benfield Advisory Inc.

Jan 25
2005

ENF-05-CDO-1581

In The Matter Of

Tri-Forex International, Ltd

AKA Tri-Forex International Ltd

AKA Tri-Forex International Ltd.

AKA Tri-Forex Ltd,;

Premium Income Corp

AKA Premium Income Corp Account

AKA Pic

AKA Premium Income Corp.;

Complete Estate Services LLC

AKA Complete Estate Services;

Bruce B. Strahan, Jr..;

Fred O. Delin; and

Thomas Budziszewski

DBA Premium Income Brokers

Jan 25
2005

IC05-CAF-02

In the Matter of Tarpon Capital Management, L.P. and the Application for Investment Adviser Representative Registration of Bradley Hugh Lamensdorf and Agent Registration of King Burney Hughes

Jan 3
2005

Order No. IC05-SUS-01

In the Matter of the Applications for the Agent and Investment Adviser Representative Registrations of Russell Kent Childs

Dec 22
2004

Order No. IC04-CAF-22

In the matter of the Dealer Registration of Brundyn Securities, Inc.

Dec 15
2004

Order No. ENF-04-CDO/FIN-1578

In the Matter of Filmmates Partners, LLC and Filmmates Corporation